July 2, 2020
The board of North American Securities Administrators Association (NASAA) is seeking public comment on a proposal that would assist states...
July 2, 2020
Mercer Global Advisors Inc., a registered investment adviser, has acquired ClearRock Capital LLC, a wealth management firm headquartered in Sun...
July 2, 2020
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Ridgeline Wealth Management to its broker-dealer and corporate registered investment...
July 1, 2020
Cetera Financial Group, a network of independent financial advisor firms, has named John Pierce as head of business development to...
July 1, 2020
KBS Real Estate Investment Trust II, a publicly registered non-traded REIT, has sold two office buildings in District 237, a...
July 1, 2020
The board of Strategic Storage Trust IV Inc., a publicly registered non-traded real estate investment trust sponsored by an affiliate...
July 1, 2020
Mercer Global Advisors Inc., a registered investment adviser, has purchased Argosy Wealth Management Inc., a wealth management firm located near...
June 30, 2020
The U.S. Department of Labor has released a new proposed class exemption that would allow investment advice fiduciaries to receive...
June 30, 2020
On Friday, the Second Circuit Court of Appeals rejected a lawsuit challenging the Securities and Exchange Commission’s Regulation Best Interest,...
June 30, 2020
Capital Square, a sponsor of tax-advantaged real estate investments, has secured a loan from M&T Bank to facilitate the construction...
June 30, 2020
LPL Financial LLC, the nation’s largest independent broker-dealer, has added Altoona, Wisconsin-based Bernicke Wealth Management to its broker-dealer and hybrid...
June 29, 2020
The Securities and Exchange Commission has barred former LPL Financial broker Dain Stokes, who was terminated by the broker-dealer last...
June 29, 2020
The board of Business Development Corporation of America, a non-traded business development company affiliated with Benefit Street Partners, has reinstated...
June 29, 2020
Urban Catalyst, an opportunity zone fund focused on ground-up development projects in Silicon Valley, has hired Mike Walsh as a...
June 29, 2020
Advisor Group, the nation's largest network of independent wealth management firms, has added new features to its digital client onboarding...
June 26, 2020
The Securities Exchange Commission has agreed to accept a settlement offer from Vereit Inc. (NYSE: VER), a publicly traded REIT...
June 26, 2020
Hartman, a sponsor of non-traded real estate investment trusts, has appointed Bernard (Ben) Vonderhaar II as managing director of institutional...
June 26, 2020
Inland Real Estate Investment Corporation, a sponsor of non-traded real estate securities offerings, has expanded on its initial launch of...
June 26, 2020
LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisor Corinne Koehler to its broker-dealer, corporate registered investment...
June 25, 2020
On Tuesday, FINRA's National Adjudicatory Council affirmed the expulsion of broker-dealer Sandlapper Securities, as well as the bar of founder...
